James Thomas Fallon
This page summarises the Hong Kong Securities and Futures Commission (SFC) public register record for James Thomas Fallon ( ), a licensed former licensee with CE reference AMX827. Total licence records on file: 10.
Licence history
| Firm | Role | Regulated activity | From | To |
|---|---|---|---|---|
| BridgeWood Alternatives Limited |
Rep | Type 1 — Dealing in securities | 2021-09-16 | 2022-09-05 |
| BridgeWood Alternatives Limited |
Rep | Type 4 — Advising on securities | 2021-09-16 | 2022-09-05 |
| Cephei Capital Management (Hong Kong) Limited |
Rep | Type 9 — Asset management | 2017-11-09 | 2021-02-28 |
| Seres Asset Management Limited 瑞時投資管理有限公司 |
Rep | Type 9 — Asset management | 2014-05-15 | 2017-10-20 |
| Merrill Lynch Far East Limited | Rep | Type 2 — Dealing in futures contracts | 2010-08-20 | 2012-07-27 |
| Merrill Lynch Far East Limited | Rep | Type 1 — Dealing in securities | 2009-06-15 | 2012-07-27 |
| Merrill Lynch Futures (Hong Kong) Limited | Rep | Type 2 — Dealing in futures contracts | 2009-06-15 | 2010-08-20 |
| Merrill Lynch (Asia Pacific) Limited | Rep | Type 1 — Dealing in securities | 2009-05-20 | 2012-07-27 |
| Tremont Capital Management (Asia) Limited |
Rep | Type 1 — Dealing in securities | 2008-09-08 | 2009-01-29 |
| Morgan Stanley Asia Limited 摩根士丹利亞洲有限公司 |
Rep | Type 1 — Dealing in securities | 2006-01-13 | 2008-08-29 |